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SIE practice questioneasyCustomer Complaints

A customer sends a written complaint to a registered representative's personal email. What should the representative do?

  1. AWait to see if the customer follows up through official channels
  2. BRespond personally and try to resolve the issue without involving the firm
  3. CDelete the email since it was not sent to the firm's official complaint address
  4. DForward the complaint to a supervisor or the compliance department immediately✓ Correct answer
Explanation

Why D — Forward the complaint to a supervisor or the compliance department immediately

Regardless of how a complaint is received — whether through official channels or a personal email — a registered representative must promptly forward any written customer complaint to a supervisor or the firm's compliance department. The firm is required to maintain records of all written complaints and take appropriate action. Attempting to resolve the complaint independently, ignoring it, or waiting for a formal submission would violate FINRA supervisory rules and could result in disciplinary action.

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